Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Watkins (Watkins), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Watkins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 02, 2022.
The client alleges the financial advisor did not adequately disclose the tax consequences associated with the August 2021 rebalancing of her account.